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Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.

SEC Staff Grants a Closed-End Fund No-Action Relief Under Rule 486(b) Covering Securities Other Than Common Stock

by Dechert LLP on

The staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) on February 14, 2018 issued a no-action letter (Letter) that would specifically permit the...more

UK Financial Conduct Authority Consults on Benchmarks Enforcement Powers

by Shearman & Sterling LLP on

The UK Financial Conduct Authority has published a consultation setting out proposed changes to its Decision Procedure and Penalties manual and its Enforcement Guide. The amendments to DEPP and EG reflect changes introduced...more

The Federal Reserve Imposes Limits on a National Bank’s Growth

by Weiner Brodsky Kider PC on

On February 2, 2018, the Federal Reserve (the “Fed”) announced a consent order with one of the country’s largest banks, that orders the bank to halt growth until it improves its corporate governance and risk management....more

Federal Budget Deal Reaffirms Executive Legislative Branch Split in Legalized Medical Marijuana Policy

by Cozen O'Connor on

On February 9, 2018, funding was restored to the federal government through March 23, 2018. The spending legislation is significant for the cannabis industry for two reasons. First, the budget deal extends the...more

Was This Interim Final Rule More Final Than Interim?

by Allen Matkins on

I in this post from July 2016, I took the Securities and Exchange Commission to task for adding Item 16 to Form 10-K as an "Interim Final Rule". As I then explained, Interim Final Rules constitute an end-run on the notice...more

These Aren’t the Marihuanas You’re Looking For: Potential Products Past the CSA

Here at Pipeline, we aim to keep our readers up to date on developments in the law that affect the cannabis industry. In that vein, we share two interesting articles from the venerable New York Times and wonder how Jeff...more

NC Legislative Update - January 2018

by Nexsen Pruet, PLLC on

JANUARY UPDATE - As directed in the adjournment resolution from October of last year, lawmakers gathered in Raleigh on January 10th, to gavel in for what became a one day-long session. The anticipated reason for their...more

Het aanpassen van een volmacht na legalisatie: verwijtbaar handelen (Dutch)

by Dentons on

The Amsterdam Court of Appeal (Court of Appeal) issued a judgment on 31 October 2017 in which it emerged that a civil-law notary (the Notary) had been careless when it checked the proxies with regard to a delivery of shares...more

Een volmacht is geen vrijbrief (Dutch)

by Dentons on

That is the function of the power of attorney in our legal transactions, at least that was my argument in a recent diptych in Vastgoedmarkt. Apart from a plea for the use of powers of attorney, this contribution also...more

Recreation Marijuana Industry Forges Ahead Amid Enforcement Uncertainty

The Cannabis Control Commission (CCC) voted in late December to approve draft regulations establishing the framework for the recreational marijuana industry of Massachusetts. Less than one week later, U.S. Attorney General...more

Supreme Court to Decide Who Can Appoint ALJs

The Supreme Court of the United States, on Friday, January 12, 2018, agreed to decide whether the former practice of the Securities and Exchange Commission (SEC) of having its chief judge appoint administrative law judges...more

Justice Department reverses course on marijuana enforcement: What it means for employers

by Nexsen Pruet, PLLC on

Attorney General Jeff Sessions recently issued a guidance memorandum rescinding several Obama-era Justice Department memoranda regarding federal marijuana enforcement. ...more

Corporate Law & Governance Update - January 2018

by McDermott Will & Emery on

Technology-Driven Disruption - Recent news stories and governance publications serve to underscore the challenge to health systems posed by innovation-based business model disruption. Health care boards will be expected to...more

The CFLL Is Dead; Long Live The CFL!

by Allen Matkins on

In a change that escaped my notice, the legislature has seen fit to rename the venerable California Finance Lenders Law as the California Financing Law. This legislation, Stats. 2017, ch. 475 (AB 1284 (Dababneh)), was...more

What to look out for in UK litigation and investigations in 2018

by Ropes & Gray LLP on

2017 was an important year for the UK’s Serious Fraud Office (“SFO”). The Government’s plan to merge the SFO with the National Crime Agency was scrapped, seemingly securing the SFO’s future as an independent investigator and...more

DOJ Rescinds Obama-Era Guidance on Prosecutions of State-Legalized Marijuana Businesses and Service Providers

by Goodwin on

The U.S. Department of Justice (DOJ) today issued a memorandum in which it rescinded guidance issued during the Obama Administration related to the enforcement of the Controlled Substances Act, and related money laundering...more

Cannabis Chaos: Justice Department Revokes Obama-Era Guidance on Marijuana Enforcement

by McDermott Will & Emery on

On January 4, 2018, Attorney General Jefferson B. Sessions announced, in a memorandum to all US Attorneys, the immediate revocation of five Obama Administration policies on federal marijuana enforcement, including Guidance...more

Shareholder Activism on Climate Is Only Going to Increase

While EPA continues to go backwards on climate, evidence continues to mount that investors are only going to get more aggressive. There were two developments worth noting this month. First, Bloomberg Markets reported that...more

Real Estate and Land Use - New Trump Tax Plan’s Impact on Real Estate

On Wednesday, Dec. 20, 2017, Congress passed a sweeping $1.5 trillion tax reform of the Internal Revenue Code of 1986. Dubbed the “Tax Cuts and Jobs Act,” the bill next heads to the President’s desk to be signed into law,...more

The Fate of the International Entrepreneur Rule Remains Uncertain, But There May Be Hope

by Foley Hoag LLP on

The Obama-era International Entrepreneur Rule (“IE Rule”), which had been scheduled to go into effect on July 17, 2017, would allow qualifying foreign entrepreneurs to come to the US to establish, oversee, and grow their...more

Copyright Liability Safe Harbor Treatment Requires Action by December 31, 2017 for Many

by Nutter McClennen & Fish LLP on

Website or information “service providers” who in the past have made hard-copy filings to designate agents to take advantage of the “safe harbor” liability shield provision under the Digital Millennium Copyright Act (DMCA)...more

In Reversal, SEC Agrees That Its Administrative Law Judges Are Inferior Officers That Require Commission Appointment, But Still...

by Shearman & Sterling LLP on

On November 29, 2017, the U.S. Solicitor General submitted a brief to the United States Supreme Court in Lucia v. Securities and Exchange Commission, No. 17-130, urging the Court to grant certiorari and resolve a circuit...more

Financial Services Report – Winter 2017

by MoFo Reenforcement on

EDITOR’S NOTE - The holidays came early for the financial services industry. First, the Senate voted to repeal the CFPB’s rule banning class waivers in arbitration agreements in consumer financial contracts. Then,...more

November 2017 Bid Protest Roundup

This roundup of interesting bid protest decisions issued in November 2017 highlights two decisions, both at the Government Accountability Office (“GAO”). The first reminds contractors that competitors can work together when...more

Lawsuit Seeks to Shut Down Pennsylvania’s Medical Marijuana Program Before It Even Sets Up Shop

by Cozen O'Connor on

A lawsuit accusing Pennsylvania’s fledgling medical marijuana program of running a faulty permitting process could stonewall patients looking for relief. Keystone ReLeaf (Keystone), a Bethlehem-based medical marijuana...more

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